north carolina office of state archaeology archaeological investigation standards and guidelines

95 Pages·2017·1.59 MB·English

by  Fitts, Mary E

NORTH CAROLINA OFFICE OF
STATE ARCHAEOLOGY

ARCHAEOLOGICAL INVESTIGATION
STANDARDS AND GUIDELINES
FOR BACKGROUND RESEARCH, FIELD METHODOLOGIES,
TECHNICAL REPORTS, AND CURATION

-December 2017-
About the North Carolina Office of State Archaeology

The North Carolina Office of State Archaeology (OSA) was created by the North Carolina General
Assembly in 1973 to coordinate and implement a statewide archaeological preservation program.
Elements of this program include maintaining a statewide computer-based inventory of
archaeological sites, enforcing the North Carolina Archaeological Resource Protection Act (G.S. 70
Article 2), and ensuring the proper treatment of human burials in cooperation with the individuals
and organizations specified in the Unmarked Human Burial and Human Skeletal Remains Protection
Act (G.S. 70 Article 3). An important aspect of North Carolina’s statewide archaeological
preservation program is to implement the policies of the National Historic Preservation Act of 1966,
as amended, and later, North Carolina General Statute 121-12a. G.S. 121-12a provides for
consideration of National Register properties in undertakings funded or licensed by the state.

North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page ii
Table of Contents

PART 1. BACKGROUND RESEARCH .................................................................................. 1
I. Introduction .................................................................................................................... 1
a. Qualifications ...................................................................................................................................... 1
b. Making an Appointment.................................................................................................................... 1
II. Accessing Records .......................................................................................................... 2
a. Maps ..................................................................................................................................................... 2
b. Site Forms ............................................................................................................................................ 2
c. Reports ................................................................................................................................................. 2
PART 2. TERRESTRIAL FIELD METHODOLOGY .......................................................... 3
I. Introduction .................................................................................................................... 3
a. Definitions ........................................................................................................................................... 3
1. Defining an Archaeological Site .................................................................................................... 3
2. Site Occurrence Probability Categories ....................................................................................... 3
3. Area of Potential Effects ................................................................................................................ 4
4. Cemeteries and Grave Sites ........................................................................................................... 4
b. Qualifications and Permitting ........................................................................................................... 4
1. Principal Investigator Qualifications ............................................................................................ 4
2. Archaeological Investigations on State Lands ............................................................................ 4
c. Planning and Contingencies .............................................................................................................. 5
1. Background Research ..................................................................................................................... 5
2. Changes in Field Strategies/Methodologies ................................................................................ 5
3. Inadvertent Discovery of Human Remains ................................................................................ 5
II. Forms of Investigation .................................................................................................... 5
a. Monitoring ........................................................................................................................................... 5
b. Reconnaissance Survey/Due Diligence .......................................................................................... 6
c. Phase I Identification Survey ............................................................................................................ 7
d. Phase II Evaluation/Testing ............................................................................................................. 7
e. Phase III Data Recovery/Mitigation or Treatment ....................................................................... 8
III. Field Methodologies ...................................................................................................... 8
a. Remote Sensing................................................................................................................................... 8
1. LiDAR and Multi-Spectral Imagery ............................................................................................. 9
2. On-Site Remote Sensing ................................................................................................................. 9
b. Pedestrian Reconnaissance ............................................................................................................. 10
c. Excavation ......................................................................................................................................... 10
1. Shovel Testing ............................................................................................................................... 10
2. Close-Interval Shovel Testing ..................................................................................................... 12
3. Soil Coring and Augering ............................................................................................................. 12
4. Test Unit Excavation .................................................................................................................... 12
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page iii
5. Feature Excavation ....................................................................................................................... 13
d. Machine-Assisted Excavation ......................................................................................................... 14
1. Deep Testing .................................................................................................................................. 14
2. Mechanical Stripping .................................................................................................................... 14
e. Special Analyses .................................................................................................................................. 14
IV. Documentation ............................................................................................................ 14
a. Field Documentation ....................................................................................................................... 14
b. Recording a Site ................................................................................................................................ 15
c. Recording a Cemetery ...................................................................................................................... 15
d. GIS Mapping ..................................................................................................................................... 16
PART 3. TECHNICAL REPORTS ....................................................................................... 17
I. Introduction .................................................................................................................. 17
a. Submission of Reports ..................................................................................................................... 17
b. Site and Accession Numbers .......................................................................................................... 18
c. Site and Cemetery Forms ................................................................................................................ 18
d. Curation ............................................................................................................................................. 19
II. Monitoring Reports ....................................................................................................... 19
III. Reconnaissance Survey/Due Diligence Reports ......................................................... 20
IV. Phase I Identification Survey (Intensive Survey) Reports ............................................ 21
a. Management Summary .................................................................................................................... 21
b. Introduction ...................................................................................................................................... 22
c. Environmental Setting ..................................................................................................................... 22
d. Archaeological and Cultural Background...................................................................................... 23
e. Methodology ..................................................................................................................................... 24
f. Results ................................................................................................................................................ 24
g. Significance Evaluations and Recommendations ........................................................................ 26
h. References Cited ............................................................................................................................... 27
i. Appendices ........................................................................................................................................ 27
V. Phase II Evaluation/Testing Reports .......................................................................... 27
VI. Phase III Data Recovery/Mitigation or Treatment Reports ....................................... 28
VII. Archaeological Investigations on State Lands ............................................................. 28
PART 4. CURATION ............................................................................................................ 29
I. Introduction .................................................................................................................. 29
II. Collection Submission .................................................................................................. 30
a. Responsibilities ................................................................................................................................. 30
b. Ownership ......................................................................................................................................... 30
c. Curation Fees .................................................................................................................................... 31
d. Accession Numbers ......................................................................................................................... 31
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page iv
e. Provenience Numbers ..................................................................................................................... 31
III. Conservation Standards ................................................................................................ 31
a. Treatment Measures ......................................................................................................................... 32
IV. Artifact Processing and Packaging ............................................................................... 32
a. Cleaning.............................................................................................................................................. 32
b. Sorting and Cataloging ..................................................................................................................... 32
c. Artifact Labeling ............................................................................................................................... 33
d. Packaging ........................................................................................................................................... 33
1. Artifact Bags................................................................................................................................... 33
2. Artifact Tags................................................................................................................................... 34
3. Fragile Specimens .......................................................................................................................... 34
4. Metal Artifacts ............................................................................................................................... 34
5. Soil Samples ................................................................................................................................... 34
6. Oversized and Bulk Artifacts ...................................................................................................... 35
7. Boxes ............................................................................................................................................... 35
V. Associated Records ....................................................................................................... 36
a. Documentation of Fieldwork .......................................................................................................... 37
b. Inventories and Lists ......................................................................................................................... 38
VI. Human Remains ........................................................................................................... 40

PART 5. Appendices
Appendix A: Office of State Archaeology (OSA) Staff Regional Assignments
Appendix B: Preferred Format for the Request of Permanent Site Numbers
Appendix C: North Carolina Office of State Archaeology (OSA) Site Form (version VIII)
Appendix D: North Carolina Office of State Archaeology (OSA) Cemetery Site Form
Appendix E: Handbook for Completing the North Carolina Office of State Archaeology (OSA)
Site Form and Cemetery Form

North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page v
PART 1. BACKGROUND RESEARCH

I. Introduction
Prior to the initiation of fieldwork, a records search should be conducted at the North Carolina
Office of State Archaeology (OSA). The purpose of this search is not only to determine whether any
previously recorded archaeological sites are located in the project area, but also to better understand
local cultural contexts. Compiling and synthesizing information about previous work and sites in the
vicinity around a project area allows for better prediction of site types that may be identified, and
provides a baseline of knowledge for making assessments of site significance.
For projects in North Carolina’s piedmont and coastal plain, records searches should be conducted
at OSA’s Raleigh office. For projects in the western counties (Alleghany, Ashe, Avery, Buncombe,
Burke, Caldwell, Cherokee, Clay, Graham, Haywood, Henderson, Jackson, McDowell, Macon,
Madison, Mitchell, Polk, Rutherford, Swain, Transylvania, Watauga, Wilkes, and Yancey), a records
search can be conducted either in Raleigh or at the North Carolina Department of Natural and
Cultural Resources’ (DNCR) Western Office in Asheville. For underwater projects or projects in the
coastal counties (Bertie, Beaufort, Bladen, Brunswick, Camden, Carteret, Chowan, Columbus,
Craven, Currituck, Dare, Duplin, Gates, Greene, Hertford, Hyde, Jones, Lenoir, Martin, New
Hanover, Onslow, Pamlico, Pasquotank, Pender, Perquimans, Pitt, Robeson, Sampson, Tyrell,
Washington), a records search can be conducted at Underwater Archaeology Branch at South Kure
Beach.
a. Qualifications
Individuals seeking to do background research at an OSA facility must meet or be under the
supervision of an individual who meets the Secretary of the Interior’s Professional
Qualification Standards as described in 36 CFR Part 61 (see Principal Investigator
Qualifications in Field Methodology section below). In situations where a supervised
individual is to conduct records research, it is expected that they will have been trained in
pertinent research methods prior to scheduling an appointment.
b. Making an Appointment
Prior to doing a record search, researchers must first make an appointment to access the files
at the OSA Raleigh Office, the Western Office in Asheville, or the Underwater Archaeology
Branch at South Kure Beach. Please contact us at least 24 hours prior to when you would
like to visit. Appointments are scheduled at the OSA for any day but Wednesday.
To make an appointment to do a records search at the Raleigh office, please contact Rosie
Blewitt-Golsch at [phone]/ [email protected], or contact the review
archaeologist responsible for the region where the project is located by using information
available at http://archaeology.ncdcr.gov/about/whos-my-archaeologist.
To make an appointment with the Underwater Archaeology Branch, please contact Madeline
Spencer at [phone] x200 / [email protected], or contact the review
archaeologist responsible for the project.
To make an appointment with the Western Office, please contact Linda Hall at (828) 296-
7230 x225 or [email protected].
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 1
II. Accessing Records
a. Maps
OSA staff are no longer adding site locations, reviewed areas, or surveyed areas to the paper
topographic quadrangle maps. This information is instead being added to OSA’s Geographic
Information System (GIS) which is available for access during background research
appointments on computers in the Raleigh and Asheville offices. Scans of the original paper
topographic quadrangle maps are accessible as base-mapping in GIS. OSA staff are in the
process of digitizing the information from the paper maps.
b. Site Forms
OSA staff are in the process of data-entering site forms for all previously recorded sites.
Data from site forms are being added to a site database (SiteForm) that is available on
computers in the Raleigh and Asheville offices. In the Raleigh office, site forms that have not
yet been data entered are available in boxes stored in the map room, and are organized by
county.
Scans of the original forms are also available for those site forms that have been data-entered
into the database. Scans are stored on discs in the Raleigh map room or are available on
microfiche in the OSA Raleigh office library. These may be useful as they often include site
maps and artifact inventories that were appended to the original forms, which are not
available in the database.
c. Reports
Paper copies of all reports are stored at the OSA Raleigh office library, and copies of reports
concerning the western counties (see Part 1, Background Research Introduction, above) are
available at the DNCR western office in Asheville. Copies can be made for $0.10/page or
scans be made for $0.05/page.

North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 2
PART 2. TERRESTRIAL FIELD METHODOLOGY

I. Introduction
For compliance projects, our office requests consultation with the designated Office of State
Archaeology (OSA) Review Archaeologist to discuss appropriate methodologies prior to
archaeological field investigations. The methodology standards outlined below are to be used for
clarification and guidance, but allow for exceptions based on various factors. The aim of the
guidelines is to help project sponsors and archaeological consultants better understand what
methods and techniques are deemed appropriate, and to provide consultants with information that
should enable them to design more efficient and cost-effective investigations. The field methodology
guidelines are organized in three parts. The introduction provides information concerning
definitions, qualifications, and special conditions. The second section differentiates forms of field
investigation according to objectives, level of effort, and associated activities (i.e., monitoring,
reconnaissance survey or due diligence, Phase I identification survey, Phase II evaluation/testing,
and Phase III data recovery/mitigation or treatment). The third section provides standards and
guidelines for undertaking and documenting fieldwork activities.

a. Definitions

1. Defining an Archaeological Site
According to the National Park Service (NPS), an archaeological site is defined as “the
location of a significant event, a prehistoric or historic occupation or activity, or a building or
structure, whether standing, ruined, or vanished, where the location itself possesses historic,
cultural, or archeological value regardless of the value of any existing structure” (as defined
in the ‘How to Apply the National Register Criteria for Evaluation’ portion of the National
Register Bulletin).
For the purposes of archaeological site identification, the OSA defines an archaeological site
as a location where at least one artifact or feature greater than 50 years of age has been
identified. All archaeological sites identified as a result of field investigations receive a
trinomial site number, and require a completed OSA site form.

2. Site Occurrence Probability Categories
The following site probability categories can be used to aid in the design of particular survey
strategies. Thresholds for certain environmental variables used in classifying areas as high or
low probability vary regionally, and should be derived from previous survey data in the Site
Record Inventory at OSA.
Low Probability – This designation typically applies to areas with poorly drained soils; areas
with 15 percent or greater slope; and/or areas that are disturbed to such a degree that
archaeological materials, if present, would lack sufficient integrity to be considered eligible
for listing in the National Register. Areas identified as low probability through the inspection
of topographic and soil maps should still be verified and documented in the field using visual
inspection and subsurface testing, as appropriate. In many cases it may be suitable to survey
low probability areas at a reduced sampling interval.
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 3
High Probability – Areas that do not necessarily fit into the low probability category, or that
provide low-cost resource access according to factors such as local geology, arable soil, water
sources, ecological diversity, and transportation routes. Relevant factors will vary by region
and expected site types.
3. Area of Potential Effects

According to 36 CFR 800.16(d), the Area of Potential Effects (APE) for a project is “the
geographic area or areas within which an undertaking may directly or indirectly cause
alterations in the character or use of historic properties.” In the case of archaeological sites,
the APE is often the maximum area of potential ground disturbing activities associated with
a project. Certain undertakings, such as repairing the foundations of a historic building, may
have a very limited APE, while others, such as the implementation of land management
practices, may cover large areas. The Area of Potential Effects as originally defined for a
project may change if it is re-designed.

4. Cemeteries and Grave Sites
According to North Carolina General Statute 65, Article 12, a cemetery is “a tract of land
used for burial of multiple graves.” Cemeteries containing interments greater than 50 years
of age should receive a trinomial site number. If the cemetery is associated with other
historic site elements, or is located within a prehistoric site, both a completed OSA Site
Form and a Cemetery Form should be submitted (see Appendices C and D). Otherwise only
a cemetery form is necessary. Given the possibility for unmarked graves in historic
cemeteries, even burial locations with a single above-ground marker should be recorded as
cemeteries.

b. Qualifications and Permitting
1. Principal Investigator Qualifications

Principal investigators of archaeological compliance surveys must meet the Secretary of the
Interior’s Professional Qualification Standards as described in 36 CFR Part 61. For
archaeology, minimum qualifications are a graduate degree in archaeology, anthropology, or
closely related field plus at least one year of full-time professional experience or equivalent
specialized training in archeological research, administration or management; at least four
months of supervised field and analytic experience in general North American archeology,
and demonstrated ability to carry research to completion.
2. Archaeological Investigations on State Lands

If an area to be archaeologically investigated includes lands owned or leased by the state of
North Carolina, excluding highway rights-of-way, the Principal Investigator must obtain an
Archaeological Resources Protection Act (ARPA) permit from the State Archaeologist,
according to the provisions of North Carolina General Statute Chapter 70, Article 2. Permits
should be applied for well in advance of the anticipated field work start date and require at
least 30 days for issuance. Permit applications can be obtained from the State Archaeologist,
4619 Mail Service Center, Raleigh, NC 27699-4619, or online from the OSA website. A
criminal background check by the State Bureau of Investigation is required for the Principal
Investigator. Fingerprint cards and release forms can also be obtained from the State
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 4
Archaeologist. While no fees are required to obtain the ARPA permit itself, a cost of $38.00
is required for the criminal background check. Certified checks or money orders for that
amount, made out to the Office of State Archaeology, should be submitted with the
fingerprint card, release form and completed permit application.
c. Planning and Contingencies
1. Background Research
Prior to the fieldwork phase of a project, background research of previous investigations and
previously recorded archaeological sites must be undertaken at the OSA. Access to
archaeological site files, reports, and related documents is provided to qualified professional
archaeologists and authorized representatives of federal, state, or local agencies and
institutions whose purpose is to effect planning decisions regarding archaeological resources.
Persons having access to site files will be expected to maintain the confidentiality of site
location information in accordance with North Carolina General Statute 70-18.
Due to the number of researchers desiring access to the site files and the limited space and
equipment available, appointments are necessary. See Part 1 for more information about
background research at the OSA.
2. Changes in Field Strategies/Methodologies
Any changes in survey, testing, or data recovery strategies/methods should be undertaken
only after consultation with representative staff of the OSA.
3. Inadvertent Discovery of Human Remains
If human skeletal remains are encountered during archaeological investigations, the
provisions of North Carolina General Statute Chapter 70, Article 3 apply. The State
Archaeologist should be contacted immediately. Investigations can resume after contact has
been made and the consultation process has been initiated. The Principal Investigator shall
notify the State Archaeologist as to the cultural and biological characteristics of the remains
as soon as such determination has been made. Consultation between the State Archaeologist
and the Principal Investigator will determine where the remains will be held after excavation.
If the skeletal remains are determined to be Native American, consultation will be
undertaken between the State Archaeologist and the Executive Director of the North
Carolina Commission of Indian Affairs. If the skeletal remains are not Native American, the
State Archaeologist will publish notice of the discovery in an effort to determine next of kin.

II. Forms of Investigation
a. Monitoring

1. Objective
The goal of archaeological monitoring is to determine the presence or absence of
archaeological deposits while ground disturbing activities are taking place. Archaeological
monitoring is not a primary survey strategy but it may be used in certain situations when
deemed appropriate. For example, on-site monitoring of construction activities may be
undertaken to ensure that a specific archaeological site, cemetery, or geographic area is not
adversely affected by earthmoving activities.
North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 5